FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Launches Helpline for Small Firms
By Melanie WaddellThe helpline is intended to help firms get faster answers on routine matters, CEO Robert Cook says.
January 08, 2018
FINRA Releases Exam Priorities for 2018The regulator also discusses upcoming changes to its exam program and reminds firms of some important dates.
December 22, 2017
Broker Charged With Illegally Accepting $1M in Cash Kickbacks: EnforcementRaymond James and Merrill Lynch both receive million-dollar FINRA fines.
December 22, 2017
Here Are FINRA’s Plans for 2018Changes in FINRAs suitability rule and streamlining of restrictions on outside business activities are on tap for the new year.
December 21, 2017
6 Ways to Avoid a Cryptocurrency Stock Scam: FINRAFINRA issues an Investor Alert on how to avoid getting ensnared in a cryptocurrency pump and dump scheme.
December 08, 2017
FINRA Seeks to Revamp Expungement ProcessFINRA said that it's discussing with NASAA "more extensive changes" to the process.
December 06, 2017
FINRA Releases First Exam Findings ReportHere are the top four problem areas FINRA considers worth highlighting.